Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to

into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under

Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading